Securities Regulation – Advice from Experts

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Securities Regulation

London

$350.0/min N/A 0 $5.83/min

Profile Summary Experienced UK-based compliance consultant with a background at the Financial Conduct Authority (FCA) and advisory support for alternative investment funds, hedge funds, and private equity structures. Specialist in FCA authorisations (Part 4A), SMCR frameworks, ICARA/IFPR, and global marketing compliance including financial promotions. Known for delivering practical, investor-aligned compliance solutions with strategic foresight. ⸻ Key Services Offered • FCA Authorisation Support (including MIFIDPRU, SMCR, ICARA) • Global Financial Promotions & Distribution Compliance (UK, EU, Asia) • Fund Structuring: Hedge, PE, and Emerging Managers • Governance Frameworks & Compliance Culture Reviews • Interim CCO or second-line advisory for scale-ups or regulated firms ⸻ Experience Highlights • Regulatory Associate at the FCA: Supervision of investment firms, review of ICARA plans, due diligence on regulatory applications • Strategic advisory to high-growth fund managers during launch and fundraising phases • Regulatory structuring advice for a UK-domiciled investment platform with PE and VC mandates • Developed scalable monitoring programmes for funds across CSSF, FCA, and SEC jurisdictions

kenneth finnen

NYC

$100.0/min N/A 0 $1.67/min

A long time trader on the NYSE turned Compliance officer. I have been successfully coaching my students to pass the FINRA licensing exams since 2006

Christian Saraïlis

Quebec, Canada

$200.0/min N/A 16 $3.33/min

Business & Intellectual Property Lawyer Quebec City (Quebec) Canada Founder of Sarailis Law Firm in 2006.

Erik P. Weingold

New York, NY

$200.0/min N/A 0 $3.33/min

General Counsel to PPM Lawyers (www.ppmlawyers.com), Of Counsel to Convergent Litigation Associates, LLC (www.cla-law.com), member of the board of advisors to Realty Crowdfunding, LLC (www.realtycrowdfunding.com), and founder of the New York Equity Crowdfunding Network (www.meetup.com/New-York-Equity-Crowdfunding-Network).

Chad Bayne

Toronto, Canada Area

$100.0/min N/A 0 $1.67/min

Chad practises corporate and securities law with an emphasis on mergers and acquisitions and corporate finance. He has acted for clients on a variety of transactions including acquisitions and divestitures, venture capital and private equity financings, joint ventures, strategic alliances and initial public offerings. He also advises various emerging companies operating in the information technology, biotechnology, cleantech and industrial technology sectors as well as the venture capital funds and investors that finance them. Chad has a wide range of industry-related experience in the information technology sector. He was seconded to the legal department of the Canadian subsidiary of a major computer hardware supplier. Further, before becoming a lawyer, he worked as both a software and hardware designer and also founded his own software design and consulting company. Chad leverages his industry-related experience and computer engineering education to provide tailored advice to technology sector companies in connection with their M&A opportunities, investors in connection with their technology sector investment opportunities and emerging technology companies in connection with their day-to-day activities.

Borys Pikalov

Ukraine, Kyiv

$100.0/min N/A 0 $1.67/min

Co-Founder and Chief Analyst at financial advisory and tech company Stobox; Author of the book on raising capital; Ukraine Debate Champion; Speaker; Expert in virtual assets